This course aims to provide you with a broad understanding of the role of compliance in financial
institutions and introduce you to the common issues in the space of regulatory and financial
compliance.
Course topics include understanding the financial services sector, the role of compliance within
financial institutions, the financial regulatory environment and requirements, compliance risks,
anti-money laundering risks, and the importance of well-designed and effective control
mechanisms. The course will also explore the impact of financial technology (FINTech) and
regulatory technology (REGTech) advancements on the compliance landscape.
This course is accredited by the Institute of Banking and Finance (IBF) and students who obtain an overall score of B and above will be accredited for IBF's Level 1 Compliance Standards.
Prerequisite graph
Introduction to Compliance
Unlocks
Available indexes
| Mon | Tue | Wed | Thu | Fri | Sat | |
|---|---|---|---|---|---|---|
| 930 | 00206 SEM (1) 0930-1220 Fri ABS-SR12 | 00207 SEM (2) 0930-1220 Sat ABS-SR12 | ||||
| 1000 | ||||||
| 1030 | ||||||
| 1100 | ||||||
| 1130 | ||||||
| 1200 |
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